Senior Compliance Specialist

2 weeks ago

Basingstoke, United Kingdom Diligenta Full time

**Who are Diligenta?**
Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as ‘home’ by existing employees, we drive a culture that is founded on positive change and development.
**The Opportunity**:
Due to recent successful client wins we are investing in our Compliance offering which will include expansion of the Monitoring and Oversight / Guidance functions. We have a number of vacancies for Senior Compliance Specialists to be based in either Basingstoke, Edinburgh or Peterborough.

In this role, you will play a key technical and advisory role to ensure Diligenta and the services it provides its customers are compliant with FCA rules, requirements and principles.

**You’ll be**:

- Providing second line regulatory oversight (support and challenge) to Diligenta’s client accounts and 3rd party outsourcers to ensure operational compliance on a day to day basis
- Providing compliance advice and guidance to business areas to ensure Diligenta continues to operate compliantly and without enforcement by our regulator
- Assisting the Compliance Manager by producing regular and ad-hoc regulatory reports as required, and with developing and promoting a compliance culture
- Representing Compliance in governance committees and forums, and provide regulatory support (advice and challenge) to strategic projects and initiatives
- Taking a leading role in monitoring Diligenta’s exposure to regulatory risk for the relevant Client Account, agreeing remedial actions to address issues and close gaps as appropriate, in order to support assurance to our Clients’ Compliance divisions and to the Diligenta Head of Compliance
- Contributing to developing and implementing Compliance policies and procedures, including continued oversight of Diligenta regulatory policies, processes, training and internal controls to ensure the Diligenta utility model remains fit for purpose, suggesting across account change as appropriate
- Responsible for training, monitoring and provision of guidance to Compliance Specialists as necessary
- Minimum 4 - 5 years Compliance experience
- Detailed knowledge of FCA rules and regulations and a thorough knowledge of regulatory development and consultative process
- Sound understanding of regulatory structure and process, regulations, and their underlying principles
- A credible influencer of management
- Ability to propose and implement compliance solutions with the required level of personal impact
- Ability to recognise compliance implications of business initiatives
- Able to build and maintain strong relationships with business partners
- Able to review management information, to highlight trends and concerns and make appropriate challenge

**The Perks**:

- 25 days holidays + 8 bank holidays
- Discretionary annual bonus
- Company pension scheme membership
- Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools
- Access to our Confidential Helpline is available to be used by you and your family
- Develop your career through a wider global organisation of the TCS family

Job Reference: DGENTA01339

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